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https://www.finra.org:443/rules-guidance/notices/26-02 Regulatory Notice 26-02 | FINRA.org SummaryFINRA seeks comment on proposed rule modernization changes to further assist member firms in protecting customers from fraud and financial exploitation.... regulatory notice 26 02 finra https://www.finra.org:443/rules-guidance/notices/13-34 Regulatory Notice 13-34 | FINRA.org FINRA Requests Comment on Proposed Funding Portal Rules and Related Forms regulatory notice 13 34 finra https://www.finra.org:443/rules-guidance/notices/26-03 Regulatory Notice 26-03 | FINRA.org In general, a member must obtain a customer’s affirmative consent or instruction to transfer or assign the customer’s account to another member. However, for... regulatory notice 26 03 finra https://www.finra.org:443/rules-guidance/notices/19-01 Regulatory Notice 19-01 | FINRA.org Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches regulatory notice 19 01 finra https://www.finra.org/rules-guidance/notices/25-09 Regulatory Notice 25-09 | FINRA.org FINRA rules require members to provide associated persons with specified information relating to the uniform registration forms and predispute arbitration.... regulatory notice 25 09 finra https://www.finra.org:443/rules-guidance/rulebooks/immediately-effective-rule-changes-pending-issuance-regulatory-notice Immediately Effective Rule Changes Pending Issuance of a Regulatory Notice | FINRA.org rule changes pending regulatory notice immediately effective issuance https://www.finra.org:443/rules-guidance/notices/13-08 Regulatory Notice 13-08 | FINRA.org FINRA Amends Rule 4530 to Eliminate Duplicative Reporting and Provide the Option to File Required Documents Online Using a New Form regulatory notice 13 08 finra https://www.finra.org:443/rules-guidance/notices/25-09 Regulatory Notice 25-09 | FINRA.org FINRA rules require members to provide associated persons with specified information relating to the uniform registration forms and predispute arbitration.... regulatory notice 25 09 finra https://www.finra.org:443/rules-guidance/notices/26-09 Regulatory Notice 26-09 | FINRA.org In furtherance of the FINRA Forward initiative to support member compliance, FINRA has significantly enhanced Form NMA with improved navigation and document... regulatory notice 26 09 finra https://www.finra.org/rules-guidance/notices/14-31 Regulatory Notice 14-31 | FINRA.org SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information regulatory notice 14 31 finra https://www.finra.org:443/rules-guidance/notices/12-32 Regulatory Notice 12-32 | FINRA.org Changes to Advertising, Corporate Financing, New Membership and Continuing Membership Application, Central Registration Depository and Branch Office Annual... regulatory notice 12 32 finra https://www.finra.org:443/rules-guidance/notices/17-35 Regulatory Notice 17-35 | FINRA.org Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018 regulatory notice 17 35 finra https://www.finra.org/rules-guidance/notices/21-04 Regulatory Notice 21-04 | FINRA.org Summary FINRA has amended its Codes of Arbitration Procedure for Customer and Industry Disputes (Codes) to: (1) increase the additional hearing-day honorarium... regulatory notice 21 04 finra https://www.finra.org:443/rules-guidance/notices/14-31 Regulatory Notice 14-31 | FINRA.org SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information regulatory notice 14 31 finra https://www.finra.org:443/rules-guidance/notices/16-01 Regulatory Notice 16-01 | FINRA.org Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches regulatory notice 16 01 finra https://www.finra.org/rules-guidance/notices/12-58 Regulatory Notice 12-58 | FINRA.org SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities regulatory notice 12 58 finra https://www.finra.org:443/rules-guidance/notices/20-05 Regulatory Notice 20-05 | FINRA.org Summary FINRA seeks comment on a proposal to implement the recommendations of the Securities Industry/Regulatory Council on Continuing Education (CE Council)... regulatory notice 20 05 finra https://www.finra.org:443/rules-guidance/notices/26-05 Regulatory Notice 26-05 | FINRA.org As part of the FINRA Forward initiative, FINRA has adopted amendments to FINRA Rule 3220 (Influencing or Rewarding Employees of Others) to increase the gift... regulatory notice 26 05 finra https://www.finra.org:443/rules-guidance/notices/26-06 Regulatory Notice 26-06 | FINRA.org Arbitration is an important means for resolving disputes involving customers, FINRA member firms and their associated persons. FINRA’s Dispute Resolution... regulatory notice 26 06 finra https://www.finra.org:443/rules-guidance/notices/12-58 Regulatory Notice 12-58 | FINRA.org SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities regulatory notice 12 58 finra https://www.finra.org:443/rules-guidance/notices/24-01 Regulatory Notice 24-01 | FINRA.org FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA)... regulatory notice 24 01 finra https://www.finra.org/rules-guidance/notices/15-50 Regulatory Notice 15-50 | FINRA.org SEC Approves Rule Requiring Members’ Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck regulatory notice 15 50 finra https://www.finra.org/rules-guidance/notices/21-41 Regulatory Notice 21-41 | FINRA.org Summary FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while... regulatory notice 21 41 finra https://www.finra.org/rules-guidance/notices/25-19 Regulatory Notice 25-19 | FINRA.org SummaryFINRA is amending the Annual Reports Extension of Time Request Policy to update the information required from firms and their auditors when making... regulatory notice 25 19 finra https://www.finra.org:443/rules-guidance/notices/20-01 Regulatory Notice 20-01 | FINRA.org Executive Summary FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements in E-Bill as well as view the reports that... regulatory notice 20 01 finra https://www.finra.org/rules-guidance/notices/10-32 Regulatory Notice 10-32 | FINRA.org SEC Approves Amendments to FINRA Dispute Resolution By-Laws regulatory notice 10 32 finra https://www.finra.org:443/rules-guidance/notices/16-07 Regulatory Notice 16-07 | FINRA.org SEC Approval of FINRA Rule 4518 (Notification to FINRA in Connection with the JOBS Act) regulatory notice 16 07 finra https://www.finra.org:443/rules-guidance/notices/18-01 Regulatory Notice 18-01 | FINRA.org Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches regulatory notice 18 01 finra https://www.nrc.gov/reading-rm/doc-collections/forms/nrc3info NRC Form 3 - Notice to Employees | Nuclear Regulatory Commission nuclear regulatory commission nrc form 3 notice employees https://www.gamblingcommission.gov.uk/news/article/industry-warning-notice-regulatory-returns-submissions Industry warning notice: regulatory returns submissions Operators are being warned that they face regulatory action if they fail to complete regulatory returns or submit them on time. warning notice regulatory returns industry submissions https://www.nrc.gov/site-help/privacy Privacy Policy and Security Notice | Nuclear Regulatory Commission nuclear regulatory commission privacy policy security notice https://www.regulatoryoversight.com/global-privacy-notice/ Global Privacy Notice | Regulatory Oversight Jan 19, 2025 - Last Updated: January 1, 2025 Troutman Pepper Locke LLP This Global Privacy Notice describes how Troutman Pepper Locke LLP, its wholly owned subsidiaries, global privacy notice regulatory oversight https://www.occ.treas.gov/news-issuances/news-releases/2026/nr-occ-2026-17.html Comptroller Gould Statement on Notice of Proposed Rulemakings to Modernize Regulatory Capital... Comptroller of the Currency Jonathan V. Gould issued the following statement today at the Federal Deposit Insurance Corporation's (FDIC) board meeting about... comptroller gould regulatory capital statement notice proposed